Complaints Management Procedure

Customer complaints management
procedure
Security classification: PUBLIC
Reference number:
DSITI:PRO:002P
Policy owner:
Chief Change and Operations Officer
Contact officer:
Integrity Services Officer
07 3719 7986
integrityservices@dsiti.qld.gov.au
Version
Effective Date
Approved by
Next review date
2.2
18 February 2016
Manager, Legal, Information and Integrity
October 2017
Table of Contents
1
Associated policy ................................................................................................................... 2
Complaints management guiding principles ........................................................................... 2
Procedure .............................................................................................................................. 2
3.1
Complaint received ....................................................................................................... 2
3.2
Complaint assessed ..................................................................................................... 3
3.3
Customer complaint investigated .................................................................................. 4
3.4
Customer complaint finalised ........................................................................................ 5
Continual improvement and accountability ............................................................................. 6

4.1
Continual improvement ................................................................................................. 6
4.2
Accountability ............................................................................................................... 6
Responsibilities ...................................................................................................................... 7
Definitions .............................................................................................................................. 8
References .......................................................................................................................... 10
Licence ................................................................................................................................ 11
Attachment 1: Complaint form....................................................................................................... 12

Attachment 2: Minimum data required to be held in electronic complaints register ........................ 13
Attachment 3: Customer complaint levels ..................................................................................... 14
Attachment 4: Divisional complaints coordinators ......................................................................... 15
Attachment 5: Complaint management contacts flowchart ............................................................ 16
Attachment 6: Business improvement opportunity template .......................................................... 17
Attachment 7: Suggested quarterly reporting template.................................................................. 18
Legal, Information and Integrity
Associated policy
This procedure should be read in conjunction with the Customer complaints management policy.
Consult the definitions (refer to section 6 Definitions) for key terms such as customer complaint.
Complaints management guiding principles
The Department of Science, Information Technology and Innovation (DSITI) will manage complaints
in line with the Customer complaints management policy guiding principles derived from the
Australian Standard AS ISO 10002-2006 Customer satisfaction Guidelines for complaints
handling in organizations. The principles provide the basis to ensure DSITI manages complaints in
a responsive, efficient, effective, fair, and economical way.
Procedure
This procedure is designed to support business areas to manage customer complaints about the
service or actions of DSITI or its employees and is based on a staged approach (refer to Figure 1).
Complaint
received
Complaint
assessed
Complaint
investigated
Complaint
finalised
Figure 1. Complaints handling process.
This procedure does not apply to customer complaints that are managed by other mechanisms
such as service level agreements.
Where a complaint involves, or may involve, corrupt conduct by the Director-General, consult the
Policy on complaints involving the Director-General for further details.
3.1
Complaint received
A complaint may be received by DSITI from internal or external sources (e.g. the public, customers,
clients, and departmental employees) and may be received in person, via email, fax, online, over
the phone, or mail.
If a complainant does not specifically state they wish to lodge a formal complaint with DSITI, clarify
the complainants concerns/issues before proceeding further.
Complainants are encouraged to provide a reasonable level of information to DSITI when making a
complaint, to facilitate the timely assessment and conclusion of the matter. Details of the complaint
can be captured in the Complaint form (refer to Attachment 1). Alternatively, complaint details can
be entered directly into a local version of an electronic complaints register (refer to Attachment 2).
When collecting personal information, the complainant must be provided with the following privacy
notice:
The department is collecting your personal information for the purpose of assessing and
resolving your complaint. Your personal information will be disclosed within the
department only as necessary for the management of your complaint. Your personal
Page 2 of 18
Customer complaints management procedure
details will not be disclosed to any other third party or used for any other purpose
without your consent, unless authorised or required by law.
Reasonable assistance is to be provided to complainants such as providing an interpreter if the
complainant is unable to speak or write English, or is hearing or visually impaired. The costs for
arranging reasonable assistance will be met by the business area to which the complaint relates. No
complainant will incur a fee when accessing DSITIs complaints handling process.
The department will manage complaints in a timely manner and as specified in the Customer
complaint levels table in Attachment 3. From time to time, complaints may require extended
timeframes. Under these circumstances the complainant should be advised and provided with
progress reports as required.
If you are unsure of any aspect of the complaints handling process, please contact your divisional
complaints coordinator listed in Attachment 4.
3.2
Complaint assessed
When a complaint is confirmed, assess its applicability and consider if it is covered. The Complaint
management contacts flowchart in Attachment 5 provides guidance on where to refer complaints.
To establish the customer complaint level (refer to Attachment 3), consider the following:
what outcome the complainant is seeking
whether the complaint is impractical, frivolous or made vexatiously
whether there is an alleged or apparent abuse of power
the seriousness and significance for the department
the time that has elapsed since the incident occurred
whether it involves the broad public interest
whether the resources required to investigate the matter would be disproportionate to the
complaints significance and likely outcome
what remedies are available and whether investigation could lead to improvements in agency
processes.
Customer complaints may be addressed at one of three levels. Level 1 complaints are to be
actioned by departmental employees or local managers. Level 2 complaints are to be actioned by
the divisional complaints coordinators in consultation with the business area head or delegate.
Level 3 complaints are to be actioned by Legal, Information and Integrity.
Level 1, 2 and 3 customer complaints should be acknowledged within five business days.
Departmental employees are responsible for advising the complainant of:
the complaint reference number
the name and phone number to contact while the complaint is being assessed
an expected timeframe for assessment and response
the privacy notice in section 3.1 (if not previously provided).
Page 3 of 18
The department has a zero tolerance towards complaints which are impractical, frivolous or made
vexatiously.
3.3
Customer complaint investigated
All customer complaints received will require some form of action to be taken. This may range from
checking departmental records for a level 1 complaint through to a formal investigation for a level 3
complaint.
In more complex cases, investigating officers should:
ensure they act within their power and understand their role and responsibilities
establish a list of people to be interviewed and any files or locations to be inspected
conduct interviews and inspect sites and documents
gather and record information
provide relevant information to those involved in the investigation
give people an opportunity to comment on any adverse information before deciding whether to
act on it
observe any legal requirements involved in making decisions
research and apply any relevant law/legislation
evaluate the evidence and make findings
identify factors that contributed to the complaint arising
formulate recommendations
prepare a report clearly summarising the matter and results of the investigation, setting out
findings and recommendations.
The level of investigation should be consistent with the seriousness and impact of the customer
complaint.
The investigation process must be conducted fairly and objectively. Decisions should be made
based on the required standard of proof, i.e. on the balance of probabilities.
Confidentiality should be respected and maintained at all times within the constraints of the need to
investigate a customer complaint. This will be subject to any legal authorisation or requirements for
disclosure and consistent with the principles of natural justice.
Natural justice is a key element throughout the customer complaints management process and has
three main components:
1. The hearing rule a decision-maker must receive and consider an affected persons reply
before a decision is made.
2. The bias rule the decision-maker must act in an impartial and unbiased manner.
3. The evidence rule the decision-maker must have reasonable grounds or evidence upon
which the decision can be supported.
When a customer complaint is substantiated, the remedies offered must be fair to both the
complainant and the department. The remedy sought by the complainant is to be considered as the
Page 4 of 18
first option and informal resolution and compromise are to be attempted wherever possible.
Remedies should aim to restore the complainant to the position they would have been in had the
customer complaint not been necessary. Similar remedies are to be offered to other customer
complaints of a comparable nature.
Remedies may include:
an admission/acknowledgement of fault (legal advice may be required prior)
an apology
a change of decision, policy, procedure, etc.
compensation or financial assistance (e.g. refund, waiver of debt, etc.)
the correction of misleading or incorrect records
an explanation of how and why the problem occurred and what steps have been taken to avoid
it recurring
a substitute product or service
technical assistance.
When a customer complaint is unsubstantiated, where possible, the complainant should be advised
verbally prior to written advice being sent.
Written advice should be signed by an appropriately delegated officer and sent to the complainant
as formal advice of their customer complaint outcome.
3.4
Customer complaint finalised
Following the conclusion of an assessment or investigation, complainants are to be advised, as

soon as possible, of:
the outcome of their customer complaint including adequate and well-articulated reasons for the
outcome
any remedial action to be taken following the consideration of their customer complaint
the avenues for review of decisions, outcomes and actions.
Level 1 and 2 complaints should be assessed and the complainant notified of the outcome in writing
within a maximum of 30 business days.
The timeframe to assess and action level 3 complaints should be determined on a case by case
basis.
Once the complainant has been notified of assessment or investigation outcomes, departmental
employees must record details directly into the electronic complaints register (refer to
Attachment 2).
Should a complainant be dissatisfied with how their customer complaint has been dealt with, they
can request their complaint be reviewed by DSITI. Internal reviews involve independent
departmental employees reviewing the process used to consider the customer complaint and/or the
merits of any decision or action taken. The review is to be undertaken by a departmental employee
who is independent of and no less senior than the original decision maker. Reviewing officers have
the authority to change prior decisions. If a complainant is dissatisfied with the internal complaints
Page 5 of 18
resolution process they may be referred to an external complaints-handling agency such as the
Queensland Ombudsman or the Office of the Information Commissioner.
Continual improvement and accountability
4.1
Continual improvement
Business improvement opportunities resulting from the customer complaints handling process are to
be forwarded to the appropriate business area/division for action. Divisional complaints coordinators
will complete the Business improvement opportunity template in Attachment 6 and follow up directly
with the relevant business area/division to ensure implementation.
Business improvement opportunities relating to compliance with the Information Privacy Act 2009
must be made in consultation with the Principal Right to Information and Privacy Officer in Legal,
Information and Integrity on 07 3719 7989 or privacy@dsiti.qld.gov.au.
All departmental employees must make and keep public records in accordance with the Public
Records Act 2002 which contain all contact such as file notes, emails, meeting minutes, interviews,
etc. stored securely. The customer complaints file must also contain evidence of the methodology
used to consider the complaint along with explanations for actions taken.
Customer complaint files will be made available for internal/external review (subject to the
Information Privacy Act 2009 and the Right to Information Act 2009).
The Customer complaints management policy, this procedure, and their application, will be
reviewed annually to ensure they remain effective and appropriate tools for use by DSITI.
The department will ensure appropriate technological and other resources will be made available to
ensure the continual improvement of the customer complaints management system.
All departmental employees will be made aware of the suite of customer complaints management
documentation and their location on the departments intranet and internet sites.
The divisional complaints coordinators in Attachment 4 will receive information and training on the
DSITI customer complaints management approach.
4.2
Accountability
Information from the electronic complaints register will be reported quarterly. Level 2 and privacy
complaints will be reported to the Quarterly Corporate Governance Forum, and level 3 complaints to
the Board of Management. Attachment 7 contains the suggested quarterly complaints management
reporting template.
Ad hoc information on complaints will also be provided to the Board of Management.
Information on customer complaints will be published on the departments website by 30 September
each year, for the previous financial year, in compliance with Section 219A of the Public Service Act
2008.
Information relating to any disciplinary action taken and any proceedings brought for an offence
under the Information Privacy Act 2009 will be reported annually to the Minister responsible for
administering that Act.
DSITI will advise the Victim Service Coordinator of the outcome of complaints made by victims of
crime for entering into the Victim Assist Queensland complaints register.
Page 6 of 18
Responsibilities
Position
Responsibilities
Board of
Management/Corporate
Governance Forum
Review and note information on complaints.
Review and note level 2 and privacy complaints.
Determine level 3 complaint remedy in consultation with Legal, Information
Chief Change and

Operations Officer
and Integrity.
Business area heads /

Divisional heads
Determine level 2 complaint remedy in consultation with the divisional
Review and endorse level 2 complaints in the quarterly complaints
complaints coordinator.
management report.
Legal, Information and

Integrity
Act as liaison with divisional complaints coordinators.
Facilitate determination of level 3 complaint remedy in consultation with the

Chief Change and Operations Officer.
Divisional complaints
coordinator
Manage and report on level 1, 2, 3, and privacy complaints.
Act as liaison between division and Legal, Information and Integrity.
Determine level 2 complaint remedy in consultation with business area

head or delegate.
Manage and report on level 1 and 2 complaints to Legal, Information and

Integrity.
Managers and
departmental employees
Determine level 1 complaint remedy in consultation with the divisional

complaints coordinator, where necessary.
Manage and report on level 1 complaints to divisional complaints

coordinators.
Page 7 of 18
Definitions
Term
Definition
Complaint
A generic term referring to the expression of dissatisfaction, orally or in writing, about

the service or actions of an agency or its staff and includes a complaint received
through the Ministers office. (Source: former Public Service Commission Directive
13/06 Complaints Management Systems).
Corrupt conduct
Conduct of a person, regardless of whether the person holds or held an appointment,

that
a. adversely affects, or could adversely affect, directly or indirectly, the
performance of functions or the exercise of powers of
i. a unit of public administration; or
ii. a person holding an appointment; and
b. results, or could result, directly or indirectly, in the performance of functions
or the exercise of powers mentioned in paragraph (a) in a way that
i. is not honest or is not impartial; or
ii. involves a breach of the trust placed in a person holding an
appointment, either knowingly or recklessly; or
iii. involves a misuse of information or material acquired in or in
connection with the performance of functions or the exercise of
powers of a person holding an appointment; and
c. is engaged in for the purpose of providing a benefit to the person or another
person or causing a detriment to another person; and
d. would, if proved, be
i. a criminal offence; or
ii. a disciplinary breach providing reasonable grounds for terminating
the persons services, if the person is or were the holder of an
appointment.
(Source: Crime and Corruption Act 2001).
Customer
complaint
(a) A complaint about the service or action of a department, or its staff, by a person
who is apparently directly affected by the service or action; and
(b) includes, for example, a complaint about any of the following
i.
a decision made, or a failure to make a decision, by a public service
employee of the department;
ii.
an act, or failure to act, of the department;
iii.
the formulation of a proposal or intention by the department;
iv.
the making of a recommendation by the department;
v.
the customer service provided by a public service employee of the
department. (Source: Section 219A of the Public Service Act 2008).
Departmental
employees
All officers and employees of DSITI whether their employment status is permanent,
temporary, contract, casual, volunteer and/or on secondment from another department
and contractors.
Divisional heads
The most senior officers in charge of departmental divisions.
Electronic
complaints
register
A register of complaints as described in the Customer complaints management

procedure.
Frivolous
Of little or no weight, worth, or importance. (Source: The Macquarie Dictionary).
Page 8 of 18
Term
Definition
Fundamental
principles of
justice
Principle 1 Fair and dignified treatment

The victim (including, for this principle, a witness to an act of violence) will be treated
with courtesy, compassion, respect and dignity. Particular needs of the victim including
the victims age, sex, gender, race, cultural or linguistic diversity, sexuality, impairment
or religious beliefs will be taken into account.
Principle 2 Privacy of victim
A victims (including, for this principle, a witness to an act of violence) personal
information, including their address and telephone number, must not be disclosed to
any unauthorised persons.
Principle 3 Information about services
The victim will be given timely information on relevant support services available to
them, including welfare, health, counselling, medical, legal help, financial assistance
and compensation to the extent that giving the information is relevant to the
departments functions or is otherwise reasonable and practicable for the department to
give the information.
(Source: Victims of Crime Assistance Act 2009).
Impractical
For the department, means that it would not be practical to investigate a complaint.
(Source: The Macquarie Dictionary).
Natural justice
It is important that staff members who are the subject of a complaint are afforded
natural justice. Natural justice requires decision-makers to be impartial and to act fairly.
The obligation to accord natural justice is one of the fundamental underpinnings of
government decision making. Natural justice is the right to be given a fair hearing, to
present ones case and to have a decision made by an unbiased decision maker. It
consists of the hearing rule and the bias rule. The hearing rule provides that there is a
common law duty to act fairly in the making of administrative decisions which affect
rights, interests and legitimate expectations. The bias rule requires that a particular
decision-maker should not make a decision where the circumstances would lead to
reasonable doubt about their impartiality. You accord natural justice by ensuring that
you give the person an administrative hearing, which is most often accomplished by an
exchange of letters between the decision-maker and the person. The administrative
hearing must happen before the decision is made or a settled view is formed. The
person must be given a reasonable opportunity to respond, based on the complexity of
the material and the urgency of the decision. When considering the material and the
response, the decision maker must be impartial and give the submission genuine
consideration. (Source: www.oic.qld.gov.au).
Personal
information
Information or an opinion, including information or an opinion forming part of a

database, whether true or not, and whether recorded in a material form or not, about an
individual whose identity is apparent, or can reasonably be ascertained, from the
information or opinion. (Source: Information Privacy Act 2009).
Privacy complaint A complaint by an individual about an act or practice of the department in relation to the
individuals personal information that is a breach of the departments obligation under
the Information Privacy Act 2009.
(Source: Information Privacy Act 2009).
Public Interest
Disclosure
Has the meaning given to the term in the Public Interest Disclosure Act 2010.
Page 9 of 18
Term
Definition
Reprisal
(1) A person must not cause, or attempt or conspire to cause, detriment to another
person because, or in the belief that:
(a) the other person or someone else has made, or intends to make, a public
interest disclosure; or
(b) the other person or someone else is, has been, or intends to be, involved in
a proceeding under the Act against any person.
(2) an attempt to cause detriment includes an attempt to induce a person to cause
detriment.
(3) a contravention of subsection (1) is a reprisal or the taking of a reprisal.
(4) a ground mentioned in subsection (1) as the ground for a reprisal is the unlawful
ground for the reprisal.
(5) for the contravention mentioned in subsection (3) to happen, it is sufficient if the
unlawful ground is a substantial ground for the act or omission that is the reprisal, even
if there is another ground for the act or omission.
(Source: Public Interest Disclosure Act 2010).
Vexatious
For a person, intended to irritate, annoy, provoke, make angry.

(Source: The Macquarie Dictionary).
Victim
A person who has suffered harm:

because a crime is committed against the person
because the person is a family member or dependant of a person who has died or
suffered harm because a crime is committed against the person, or
as a direct result of intervening to help a person who has died or suffered harm
because a crime is committed against that person.
(Source: Victims of Crime Assistance Act 2009).
References
The requirements set out in this document are based on, and are consistent with, relevant
government legislation, regulations, directives, information standards and/or policies at the time of
publication.
Legislation and regulations
Crime and Corruption Act 2001
Information Privacy Act 2009
Public Interest Disclosure Act 2010
Public Records Act 2002
Public Service Act 2008
Right to Information Act 2009
Victims of Crime Assistance Act 2009
Page 10 of 18
Queensland Government documents

Code of Conduct for the Queensland Public Service
Public Service Commission Directive 02/14 Appeals
Public Service Commission Directive 13/06 Complaints Management Systems
Queensland Procurement Policy
DSITI documents
Customer complaints management policy
Policy on complaints involving the Director-General
Employee complaints resolution policy and procedure
Fraud and corruption prevention policy, reporting guideline and control plan
Prevention and management of corrupt conduct and public interest disclosures policy
Other resources
Australian and International Standard AS ISO 10002 2006 Customer Satisfaction Guidelines for
complaints handling in organizations
Queensland Ombudsman Guide to developing effective complaints management policies and
procedures
Queensland Ombudsman Effective Complaints management fact sheets
Queensland Ombudsman Effective complaints management self-audit checklist.
Licence
The Customer complaints management procedure by The State of Queensland,

Department of Science, Information Technology and Innovation is licensed
under a Creative Commons Attribution 4.0 International licence.
To view a copy of this licence, visit http://creativecommons.org/licenses/by/4.0/.
Page 11 of 18
Attachment 1: Complaint form
Page 12 of 18
Nature of complaint
Employee
Other
(e.g.
privacy)
Complaints of a similar
nature
Response time
Business improvements
required Y/N
Method by which
complainant notified
Date complainant notified
Action taken
Outcome/resolution
Employee dealing with

complaint
Other
Service / Product
Skill/
knowledge.
Conduct
Other
Time
Quality
Cost
Privacy notice given Y/N
Level (1,2,3)
Mode of complaint
(email/letter/ telephone etc.)
Service/employee area
location
Name of employee to whom

complaint was made
Date received
Complaint number*

Attachment 2: Minimum data required to be held in electronic complaints register
Page 13 of 18
Attachment 3: Customer complaint levels

Customer complaints received by the department may be addressed at one of three levels.
Level 1
Level 2
Level 3
Level 1 complaints are generally

straightforward with minimal potential to
impact on the department. Such complaints
are generally able to be concluded at the
point of service although they may require
some assessment and/or investigation.
Errors in records (e.g. incorrect address);
incorrect invoice has been sent out
repeatedly; a departmental employee did not
turn up to undertake a job despite repeated
requests; repeated failure to respond to a
request for service.
Level 2 complaints are generally of a more

complex or serious nature and have the
potential to impact negatively on the
department. Such complaints will require
assessment and/or investigation.
How complaint
is to be received
Who is to deal
with the
complaint?
These complaints may be received verbally

or in writing.
Level 1 complaints should be dealt with by
departmental employees or local managers
within the business area.
Escalation
If a level 1 complaint is unable to be

concluded by departmental employees or
local managers, the complaint will be
referred to the divisional complaints
coordinator as a level 2 complaint.
Timeframes
Written level 1 complaints should be

acknowledged within five business days. All
level 1 complaints should then be assessed
and the complainant notified of the
assessment outcome within a maximum of
30 business days.
These complaints should be submitted in

writing.
Level 2 complaints must be dealt with by the
divisional complaints coordinator in
consultation with the business area head or
delegate.
concluded by the divisional complaints
coordinator it should be reviewed by the
divisional head before it is referred to Legal,
Information and Integrity as a level 3
complaint.
Level 2 complaints should be acknowledged
in writing within five business days. The
complaint should then be assessed and the
complainant notified of the assessment
outcome in writing within a maximum of 30
business days.
Level 3 complaints are generally complex

and significant in nature and have the
potential to impact negatively on the
department and/or cause lasting detriment.
Such complaints will require comprehensive
assessment and/or investigation.
Departmental action has threatened the
operations or viability of a private business
or other government department; a business
area disposed of copies of documents
containing sensitive personal information in
an unsecured manner resulting in a party
outside the department gaining access to
the files, etc.
These complaints should be submitted in
writing.
Level 3 complaints must be dealt with by
Legal, Information and Integrity.
Definition
Examples of
complaints
Industry or customer dissatisfaction with an

element of departmental operations; program
expenditure/progress is unsatisfactory; a
departmental employee disclosed a clients
personal information to a party outside the
department, etc.

concluded by Legal, Information and
Integrity the complainant should be advised
of review options.
Level 3 complaints should be acknowledged

in writing within five business days. The
timeframe to assess and action the
complaint should be determined on a case
by case basis.
Page 14 of 18
Attachment 4: Divisional complaints coordinators

Division/Business area
Divisional complaints coordinator
Internal Audit
Head of Internal Audit

GPO Box 474 Brisbane Qld 4001
Phone: 07 3215 3720
Email: dsitiinternalaudit@dsiti.qld.gov.au
Strategic Policy and Innovation
Manager, Business Performance Unit

Phone: 07 3719 7830
Email: spibpu@dsiti.qld.gov.au
Change and Operations
Principal Advisor, Office of the Chief Change and Operations Officer

Phone: 07 3719 7801
Email: office-ccoo@dsiti.qld.gov.au
Science
Manager, Business Services

Phone: 07 3170 5449
Email: officeofadgsd@dsiti.qld.gov.au
Digital Productivity and Services
Senior Advisor, Office of the Assistant Director-General

Phone: 07 3719 7732
Email: oadgdps@dsiti.qld.gov.au
Strategic ICT
Principal Advisor, Office of the Assistant Director-General

Phone: 3719 7981
Email: oadgsict@dsiti.qld.gov.au
Queensland Shared Services
Principal Advisor, Office of the Assistant Director-General

Phone: 07 3721 9833
Email: qssgcs@dsiti.qld.gov.au
All other business areas
Manager, Legal, Information and Integrity

Phone: 07 3719 7982
Email: feedback@dsiti.qld.gov.au
Page 15 of 18
Attachment 5: Complaint management contacts flowchart

Complaint received
by department
Yes
Does complaint
relate to either of
the following?
Corrupt
conduct
Public interest
disclosure
Privacy breach
Access
application
decision
Yes
For corrupt conduct and public

interest disclosure complaints
contact 07 3719 7982 or
feedback@dsitia.qld.gov.au
Complaints covered
by other
mechanisms
For privacy breach and access

application decision complaints
contact 07 3719 7985 or
privacy@dsitia.qld.gov.au or
rti@dsitia.qld.gov.au
Complaints covered
by other
mechanisms
Contact Legal,
Information
and Integrity
No
Does the complaint
relate to the corrupt
conduct of the
Director-General?
Yes
Contact one of
the nominated
persons
Complaint covered
by other
mechanisms
Yes
Contact
Human
Resources
Complaint covered
by other
mechanisms
Yes
Contact the
local manager
Yes
Contact
Procurement
Services
Complaint covered
by other
mechanisms
Yes
Contact the
relevant
Divisional
complaints
coordinator
Refer to Attachment
4 for full details
No
Does the complaint
relate to an
employee complaint
or appeal?
No
Does the complaint

relate to a
contractual matter?
Complaint covered
by other
mechanisms
No
Does the complaint
relate to a
procurement
matter?
No
Does the complaint
relate to the service
or actions of the
department or its
employees?
Page 16 of 18
Attachment 6: Business improvement opportunity template

Complaint number:
Date:
Prepared by:
Issue
Recommendation
Business area/division
responsible for
implementing
recommendation
Timeframe to
implement
Date finalised
Page 17 of 18
Attachment 7: Suggested quarterly reporting template

Purpose
To collect data and provide the Quarterly Corporate Governance Forum with the details of level 2
complaints for [Division] for the quarter ended [date].
Background
The [Division] is committed to effectively handling complaints in a timely and professional manner.
This report advises the number and nature of level 2 complaints including service/product related
complaints, privacy complaints, as well as complaints regarding [Division] employees.
This report also advises the time taken to conclude complaints and highlights any significant trends
and issues.
Level 2 complaints
Summary
Number of complaints
outstanding from
previous quarter
Number of new
complaints lodged this
quarter
Number of complaints
finalised this quarter
Total number of
complaints
outstanding at end of
quarter
Nature of new level 2 complaints this quarter

Type/subject of complaint
Number of new complaints this

quarter
Percentage of new complaints
Service/product (cost)
Service/product (quality)
Service/product (time)
Service/product (other)
Staff (conduct)
Staff (skill/knowledge)
Staff (other)
Other (e.g. privacy)
%
%
%
%
%
%
%
%
%
Time taken to conclude the level 2 complaints finalised this quarter

Timeframes
Within 30 business days
Longer than 30 business days
Number
Percentage
%
%
%
Comments
Trends and issues

Significant trends or issues for attention ..
A large proportion of complaints this quarter related to concerns regarding ..
Additional analysis indicates that ..
Recommendations have been made to .. and therefore ..
The following business improvement recommendations are outstanding at the end of the current
quarter:
Page 18 of 18

Complaints Management Procedure

Uploaded by

Document Information

Copyright

Available Formats

Share this document

Share or Embed Document

Sharing Options

Did you find this document useful?

Is this content inappropriate?

Copyright:

Available Formats

Complaints Management Procedure

Uploaded by

Copyright:

Available Formats

Customer complaints management

Chief Change and Operations Officer

Integrity Services Officer

Next review date

Manager, Legal, Information and Integrity

Associated policy ................................................................................................................... 2

Complaints management guiding principles ........................................................................... 2

Complaint received ....................................................................................................... 2

Complaint assessed ..................................................................................................... 3

Customer complaint investigated .................................................................................. 4

Customer complaint finalised ........................................................................................ 5

Continual improvement and accountability ............................................................................. 6

Continual improvement ................................................................................................. 6

Attachment 1: Complaint form....................................................................................................... 12

Legal, Information and Integrity

Security classification: PUBLIC

Complaints management guiding principles

Figure 1. Complaints handling process.

Security classification: PUBLIC

Customer complaints management procedure

what outcome the complainant is seeking

whether the complaint is impractical, frivolous or made vexatiously

whether there is an alleged or apparent abuse of power

the seriousness and significance for the department

the time that has elapsed since the incident occurred

whether it involves the broad public interest

the complaint reference number

an expected timeframe for assessment and response

the privacy notice in section 3.1 (if not previously provided).

Legal, Information and Integrity

Security classification: PUBLIC

Customer complaint investigated

establish a list of people to be interviewed and any files or locations to be inspected

conduct interviews and inspect sites and documents

gather and record information

provide relevant information to those involved in the investigation

observe any legal requirements involved in making decisions

research and apply any relevant law/legislation

evaluate the evidence and make findings

identify factors that contributed to the complaint arising

Security classification: PUBLIC

Customer complaints management procedure

an admission/acknowledgement of fault (legal advice may be required prior)

a change of decision, policy, procedure, etc.

compensation or financial assistance (e.g. refund, waiver of debt, etc.)

the correction of misleading or incorrect records

a substitute product or service

Customer complaint finalised

Following the conclusion of an assessment or investigation, complainants are to be advised, as

the avenues for review of decisions, outcomes and actions.

Legal, Information and Integrity

Security classification: PUBLIC

Continual improvement and accountability

Security classification: PUBLIC

Customer complaints management procedure

Review and note information on complaints.

Review and note level 2 and privacy complaints.

Determine level 3 complaint remedy in consultation with Legal, Information

Chief Change and

Business area heads /

Determine level 2 complaint remedy in consultation with the divisional

Review and endorse level 2 complaints in the quarterly complaints

Legal, Information and

Act as liaison with divisional complaints coordinators.